Kevin Christopher Rutten

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Newport Beach, CA
• 11/2016 → 07/2021
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 07/2021 → Present
  Stifel Nicolaus & Co Inc
  Newport Beach, CA

Previous Registrations

• 2008-03-10 → 2021-07-12
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA

Other Businesses

1. DEX LLC; 3 VIA ABRAZAR, SAN CLEMENTE, CA 92673; RESIDENTIAL RENTAL REAL ESTATE LLC; SOLE MEMBER; MANAGE AND GOVERN LLC; 02/17/2023; 40 Hours per Year; Not during securities trading hours; Investment-Related 2. Rental Property; 66715 Pinto Way Palm Desert CA 92240; Partner/Owner; Manage Property; 4/14/23; 5 hours per month; not during securities trading hours; inv related 3. Rental Property; 9890 Valparaiso Dr Desert Hot Springs CA 92240; Partner/Owner; Manage Property; 4/14/23; 5 hours per month; not during securities trading hours; inv related

Exams

• S66 Uniform Combined State Law Examination
  2007-08-10